RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
R•••••• E•••
- C•••••• W••••• M••••••••• L•• state registered currentsince Aug 30, 2011 · Seattle, Wa
- K••••• • P••••••• H•••••• C•••••• formerApr 6, 2010 to Aug 31, 2011 · Seattle, Wa
- R• B••••• I•• unclassifiedSep 4, 2006 to Mar 22, 2010 · Seattle, Wa
- L•• F•••••••• L•• BD affiliatedMay 28, 2004 to Jul 12, 2005 · Oakland, Ca
- W• G••••••• S••••••••• I••• unclassifiedJan 16, 2001 to Jun 9, 2004 · Walnut Creek, Ca
- K••••• • P••••••• H•••••• C•••••• to C•••••• W••••• M••••••••• L••left Aug 31, 2011, registered Aug 30, 2011 (-1 days) · Other
- R• B••••• I•• to K••••• • P••••••• H•••••• C••••••left Mar 22, 2010, registered Apr 6, 2010 (15 days) · Other
- L•• F•••••••• L•• to R• B••••• I••left Jul 12, 2005, registered Sep 4, 2006 (419 days) · Other
- W• G••••••• S••••••••• I••• to L•• F•••••••• L••left Jun 9, 2004, registered May 28, 2004 (-12 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- STATE REGISTEREDderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address